LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

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SEC & DOJ Prosecutions

SEC Charges Former Cleveland-Area Investment Promoter with $18 Million Scheme

SEC v. Oscar F. Villarreal

SEC & DOJ Prosecutions

Cease-and-Desist, Industry Bar and Sanctions Ordered Against Former Whirlpool Financial Analyst for Insider Trading

In the Matter of Abdallah Fadel, Respondent

SEC & DOJ Prosecutions

SEC Halts Offering Fraud by Unregistered Investment Adviser and its Managing Member

SEC v. Anthony J. Davian and Davian Capital Advisors, LLC

SEC & DOJ Prosecutions

Ohio Investment Advisor Barred from Industry for Offering Fraud, Misappropriation

In the Matter of Geoffrey W. Nehrenz, Respondent

SEC & DOJ Prosecutions

CFO Barred for Plug Accounting Entries Causing Asset Overstatement

In the Matter of Jason Maiher, Respondent

SEC & DOJ Prosecutions

KBCM Ordered to Cease-and-Desist, Censured and Fined Following Asset Overstatement

In the Matter of KeyBanc Capital Markets Inc., Respondent

SEC & DOJ Prosecutions

Henning-Carey Proprietary Trading Settles Unregistered Government Securities Dealer Charge

In the Matter of Henning-Carey Proprietary Trading, LLC, Respondent

SEC & DOJ Prosecutions

RIA Ordered to Cease-and-Desist and Fined on Charges of Unlawful Cross and Principal Trading

In the Matter of Aviva Investors Americas, LLC, as the successor entity to Aviva Investors North...

SEC & DOJ Prosecutions

Investment Adviser Ordered to Cease-and-Desist, Pay Disgorgement of Fees and a Fine in Equal Amount, and Barred for Concealing Fund Losses

In the Matter of Daniel N. Ginsparg, Respondent

SEC & DOJ Prosecutions

Cease-and-Desist Order, Censure and Fine in RIA Failure to Conduct Reviews Case

In the Matter of Dupree Financial Group, LLC, Respondent

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal, NPR and The New Yorker
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